# EUR-Lex - 52013PC0525 - EN

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# 52013PC0525

**Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Regulation (EU) No 99/2013 on the European statistical programme 2013-17 /* COM/2013/0525 final - 2013/0249 (COD) */**

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EXPLANATORY MEMORANDUM

1.           CONTEXT OF THE PROPOSAL

The implementation of EU policies requires
comparable and reliable statistical information about the economic, social and
environmental situation in the EU and the different components at national and
regional level. European statistics are also indispensable for ensuring that Europe is understood by the general public and for allowing citizens to take part in the
democratic process and debate the present and future of the EU.

Against this background, Regulation (EU) No
99/2013 on the European statistical programme 2013-17 was adopted on 15 January
2013 to provide an overall framework for the development, production and
dissemination of European statistics over the period from 2013 to 2017.

The Commission proposal for this Regulation
included a financial envelope of EUR 299.2 million for the five years of the
programme, which was questioned by neither the Council nor the European Parliament
during the ordinary legislative procedure. However, in its resolution of 13
June 2012 on the Multiannual Financial Framework (MFF) and own resources, the
European Parliament stressed that the negotiations on the legislative proposals
relating to the multiannual programmes would be finalised once an agreement on
their financial envelopes had been reached.

This is why Regulation (EU) No 99/2013 only
sets the financial envelope for 2013, covered by the programming period
2007-2013, and invites the Commission to make a legislative proposal
introducing the financial allocation for the period 2014-2017 to the European
Parliament and the Council no later than three months after the adoption of the
MFF for the years 2014-2020.

2.           RESULTS OF CONSULTATIONS
WITH THE INTERESTED PARTIES AND IMPACT ASSESSMENTS

Interested parties had been consulted and
an impact assessment conducted for the proposal for a Regulation on the European
statistical programme 2013-17, COM(2011) 928 final of 21.12.2011, which
included the budget for 2014-2017.

Therefore no further consultation or
assessment is deemed necessary.

3.           LEGAL ELEMENTS OF THE
PROPOSAL

The proposal provides the financial envelope
for the four years of the European statistical programme 2013-17 that are
covered by the programming period 2014-2020 (MFF). For this purpose it is
proposed to amend Article 7 on financing.

Other provisions of the Regulation
establishing the European statistical programme 2013-17 remain unchanged, in
particular the objectives and the annex defining statistical outputs for the
five years covered.

4.           BUDGETARY IMPLICATION

Since the specific objectives and
statistical outputs for the five-year period are set in the Regulation, the
amount of budget proposed for the period from 2014 to 2017 is EUR 234.8
million, covered by the programming period 2014-2020.

5.           OPTIONAL ELEMENTS

European Economic Area

The proposed Regulation concerns an EEA matter
and should therefore extend to the European Economic Area.

2013/0249 (COD)

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT
AND OF THE COUNCIL

amending Regulation (EU) No 99/2013 on the
European statistical programme 2013-17

(Text with relevance for the EEA and for Switzerland)

THE EUROPEAN PARLIAMENT AND THE
COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the
Functioning of the European Union, and in particular Article 338(1) thereof,

Having regard to the proposal from the
European Commission,

After transmission of the draft legislative
act to the national Parliaments,

Acting in accordance with the ordinary
legislative procedure,

Whereas:

(1)       Regulation (EU) No 99/2013
on the European statistical programme 2013-17[1]
provides the framework and defines the objectives and outputs for the
production, development and dissemination of European statistics for the period
from 2013 to 2017.

(2)       Regulation (EU) No 99/2013
only sets the financial envelope for 2013, covered by the programming period
2007 to 2013, and invites the Commission to submit a legislative proposal
introducing the financial allocation for the period 2014 to 2017 to the
European Parliament and the Council no later than three months after the
adoption of the multiannual financial framework for the period 2014 to 2020.

(3)       Council Regulation (EU) No
.../... laying down the Multiannual Financial Framework for the programming period
2014 to 2020 was adopted on ...

(4)       Regulation (EU) No 99/2013
should therefore be amended accordingly,

HAVE ADOPTED THIS REGULATION:

Article 1

Regulation (EU) No 99/2013 is amended as
follows:

Article 7 is replaced by the following:

“Article 7

Financing

(1) The Union financial envelope for the
implementation of the programme for 2013 is set at EUR 57.3 million, covered by
the programming period 2007 to 2013. The Union financial envelope for the
implementation of the programme for 2014 to 2017 is set at EUR 234.8 million,
covered by the programming period 2014 to 2020.

(2) The Commission shall implement the Union
financial support in accordance with the Financial Regulation.

(3) The Commission shall adopt its decision
on annual appropriations in compliance with the prerogatives of the budgetary
authority."

Article 2

This Regulation shall enter into force on the
day following that of its publication in the Official Journal of the
European Union.

This Regulation shall be binding
in its entirety and directly applicable in all Member States.

Done at Brussels,

For the European Parliament                       For
the Council

The President                                                 The
President

LEGISLATIVE FINANCIAL STATEMENT

1.           FRAMEWORK OF THE
PROPOSAL/INITIATIVE

1.1.    Title of the proposal/initiative

1.2.    Policy
area(s) concerned in the ABM/ABB structure

1.3.    Nature
of the proposal/initiative

1.4.    Objective(s)

1.5.    Grounds
for the proposal/initiative

1.6.    Duration
and financial impact

1.7.    Management
method(s) envisaged

2.           MANAGEMENT MEASURES

2.1.    Monitoring
and reporting rules

2.2.    Management
and control system

2.3.    Measures
to prevent fraud and irregularities

3.           ESTIMATED FINANCIAL
IMPACT OF THE PROPOSAL/INITIATIVE

3.1.    Heading(s)
of the multiannual financial framework and expenditure budget line(s) affected

3.2.    Estimated
impact on expenditure

3.2.1. Summary of
estimated impact on expenditure

3.2.2. Estimated impact
on operational appropriations

3.2.3. Estimated impact
on appropriations of an administrative nature

3.2.4. Compatibility
with the current multiannual financial framework

3.2.5. Third-party
participation in financing

3.3.    Estimated impact on revenue

LEGISLATIVE FINANCIAL STATEMENT

1.           FRAMEWORK OF THE
PROPOSAL/INITIATIVE

1.1         Title of the
proposal/initiative

Proposal for a European Parliament and Council Regulation amending
Regulation (EU) No 99/2013 on the European statistical programme 2013-17

1.2         Policy area(s)
concerned in the ABM/ABB structure[2]

Statistics (3403 – production of statistical information, 3480 – Administrative
support for Eurostat, 3481 – policy strategy and coordination for Eurostat)

1.3         Nature of the
proposal/initiative

 ̈ The
proposal/initiative relates to a new action

 ̈ The
proposal/initiative relates to a new action following a pilot
project/preparatory action[3]

X The proposal/initiative relates to the
extension of an existing action

 ̈ The
proposal/initiative relates to an action redirected towards a new action

1.4         Objectives

1.4.1      The Commission’s
multiannual strategic objective(s) targeted by the proposal/initiative

The proposal is consistent with the European Union’s priorities as
statistics developed, produced and disseminated under this programme will
contribute to the implementation of the policies of the European Union, such as
the Europe 2020 strategy for ‘smart, sustainable and inclusive growth’ and
other policies addressed in the Commission’s strategic priorities for the
period 2010-2014 (i.e. strengthened and integrated economic governance, climate
change, growth and social cohesion, a people’s Europe and globalisation).

1.4.2      Specific objectives and
ABM/ABB activities concerned

Specific objective No 1: Provide
statistical information, in a timely manner, to support the development,
monitoring and evaluation of the policies of the Union properly reflecting
priorities, while keeping a balance between economic, social and environmental
fields and serving the needs of a wide range of users of European statistics,
including decision-makers, researchers, businesses and European citizens in
general, in a cost-effective manner without unnecessary duplication of effort.

ABM/ABB activity concerned

3403 — Production of statistical information

Specific objective No 2: Implement the
new method of production of European statistics aiming at efficiency gains and
quality improvements.

ABM/ABB activities concerned

3403 — Production of statistical information, 3480 — Administrative
support for Eurostat, 3481 — Policy strategy and coordination for Eurostat

Specific objective No 3: Strengthen the
partnership within the ESS and beyond in order to further enhance its
productivity and its leading role in official statistics worldwide.

ABM/ABB activities concerned

3481 — Policy strategy and coordination for Eurostat

Specific objective No 4: Ensure that the
delivery of such statistics is kept consistent throughout the whole duration of
the programme, provided that this does not interfere with the priority-setting
mechanisms of the ESS.

ABM/ABB activities concerned

3403 — Production of statistical information

1.4.3      Expected result(s) and
impact

Specify the effects
which the proposal/initiative should have on the beneficiaries/groups targeted.

Effects on the European Parliament and the Council: positive as the European statistical programme (ESP) is in line
with the Treaties, the financial perspectives and the European Union’s
political priorities; the needs for statistical information to back the
policies of the EU are reflected in the ESP; the ESP includes a mechanism for
improved priority-setting and reduction of the response burden on enterprises
and citizens. Member States are involved in the preparation of the ESP. The
subsidiarity principle will be respected when implementing the ESP.

Effects on the College of Commissioners and Commission services: positive as the ESP is in line with the Treaties and the financial
perspectives; the needs for statistical information to back the policies of the
EU are reflected in the ESP, and a robust quality management system will be
implemented as part of the ESP. The ESP will be subject to effective evaluation
and an ABB-compliant framework for distribution of resources.

Effects on National Statistical Institutes (including DGINS, ESS Committee, Partnership Group, Directors’
Groups) and other national producers: positive as the ESP includes a mechanism
for improved priority-setting and reduction of the response burden on
enterprises and citizens. It reflects the joint ESS strategy on the
implementation of the Communication. Member States are involved in the
preparation of the ESP. The subsidiarity principle will be respected when
implementing the ESP.

Effects on the ESAC, the European Central Bank, the Committee on
Monetary, Financial and Balance of payments statistics (CMFB) and other
non-institutional users: positive as the needs for
statistical information to back the policies of the EU are reflected in the
ESP, the users will be assured that statistics will be ‘fit for purpose’ (on
time and according to their policy needs and requirements).

Effects on Eurostat: positive as the ESP
reflects the Communication on the production method of EU statistics; a robust
quality management system will be implemented as part of the ESP; the ESP will
provide a stable framework for coherent, structured annual programming and
allocation of resources as well as a clear view of the direction of Eurostat’s
development; the ESP will be subject to effective evaluation.

1.4.4      Indicators of results
and impact

Specify the
indicators for monitoring implementation of the proposal/initiative.

For all objectives listed in the ESP 2013-17, the main actions and
indicators are listed. The objectives of the ESP 2013-17 are subject to more
detailed planning in the Annual Work Programmes and results will be monitored
throughout the programming period.

The general objective linked to the pursuit of being the leading
provider of high-quality statistics on Europe will be monitored by means of:

- The Eurostat User Satisfaction Survey, and in particular the
percentage of users rating the overall quality of European statistics as "‘very
good’ or ‘good’.

1.5         Grounds for the
proposal/initiative

1.5.1      Requirement(s) to be met
in the short or long term

The establishment of a multiannual European statistical programme
stems from Article 13(1) of Regulation (EC) No 223/2009 of the European
Parliament and of the Council on European statistics[4], which stipulates that the
European statistical programme must provide the framework for the development,
production and dissemination of European statistics, the main fields and the
objectives of the actions envisaged for a period not exceeding five years. It
must lay down priorities concerning the needs for information for the purpose
of carrying out the activities of the European Union. The target beneficiaries
of the proposal are the users and producers of European statistics, i.e. the
European Parliament and the Council, the Commission Directorates-General, the
European Central Bank, the National Statistical Institutes and other national
producers of European statistics, the ESAC, the Committee on Monetary, Financial
and Balance of payments statistics (CMFB) and other non-institutional users,
and, of course, the general public.

1.5.2      Added value of EU
involvement

Policymakers and actors in the market constantly need statistics in
order to make decisions and monitor and evaluate their implementation.
Statistics provide an essential infrastructure for democracies and modern
economies to function soundly and efficiently. The European Union needs a
high-quality statistical information service in order to fulfil its mission.
European statistics must be reliable, timely and independent of political
influence and provided in a convenient form for users. Furthermore, their
preparation should not impose an excessive burden on data providers and their
collection must be undertaken in accordance with the principles of subsidiarity
and proportionality.

Together with the national statistical authorities and other
national authorities responsible in each Member State for the development,
production and dissemination of European statistics, Eurostat has created a
partnership collectively called the ESS. This partnership also includes the EEA
countries. Member States collect data and compile statistics for national and
EU purposes.

The ESS functions as a network in which Eurostat’s role is to lead
the way in the harmonisation of statistics in close cooperation with the
national statistical authorities. ESS work concentrates mainly on EU policy
areas — and, with the extension of EU policies, harmonisation has been extended
to nearly all statistical fields.

The ESS facilitates the sharing of knowledge and ‘best practices’
across Member States and the development of new technologies, common tools and
collaborative networks with a view to taking advantage of possible synergies
and avoiding duplication of effort, thus paving the way for a modern production
system equipped to meet future challenges.

Efforts to harmonise, streamline and regulate can best be initiated
at European Union level, where such projects can be carried out with optimal
efficiency.

1.5.3      Lessons learned from
similar experiences in the past

A major constraint encountered with the Community Statistical
Programme 2008-2012[5]
is that the structure is fixed for a period of five years and the objectives
are described in detail. Since the current programme was adopted, a number of
important developments have taken place. The basic legal framework for the
production of European statistics has changed. The Communication on the
production method of EU statistics has been adopted, followed by a joint ESS
strategy; the Lisbon Treaty has come into force; a new European Commission has
taken office (as of January 2010 until December 2014); several new political
initiatives (such as Europe 2020) have been launched and the ESS governance
structure has been reinforced. None of these developments are reflected in the
current programme; parts of it have become outdated and there is a gap between
planned and actual activities. This diminishes the relevance of the reporting
on the implementation of the programme as many relevant activities are not
reflected in the programme while we have to report on some activities that are
mentioned in it but are no longer carried out.

With regard to the process of preparing the European statistical
programme, the Partnership Group[6]
Task Force 3 proposed the multiannual programming cycle for 2013-2017. It was
suggested that the role of the ESS partners (ESS Committee, DGINS, Directors’
Groups and ESAC) be strengthened in the programme preparation process.

It should also be mentioned that the Commission’s report to the
European Parliament (EP) and the Council on the ex-post evaluation of the community
statistical programme (CSP) 2003-2007[7]
included recommendations with regard to future multiannual programmes, namely:

Improve the link between the CSP and annual work programmes. The CSP is designed to be a framework programme formulating a
strategic vision for five years and ensuring, together with the annual work
programmes, the CSP’s flexibility and relevance over the entire period. In
using the CSP as a reference, the annual work programmes should make explicit
mention of and be based on the relevant CSP.

Improve monitoring of CSP implementation. Overall monitoring of the CSP should be done by defining a key set
of indicators that provide sufficient information on the achievement of
operational and strategic objectives over the programme period.

The Commission’s report to the EP and the Council on the mid-term
evaluation of the CSP 2008-2012 highlighted the following points to be taken
into account in the future:

- Definition of new needs for statistical information. A more
integrated approach using multiple and combined data sources together with
harmonisation of methodology, concepts and definitions is required.

- Strengthened partnership in the ESS. Establishment of more
and different integration cooperation models with the Member States was
emphasised.

- Reflection on conceptual approach to reprioritisation of
activities and availability of resources for implementing the CSP in order
to reduce response burden and producers’ costs was considered necessary.

It is worth mentioning that the current CSP 2008-2012 was one of the
subjects of the Eurostat Internal Audit Capacity’s audit report on the
evaluation function[8],
which noted the absence of an ex-ante evaluation for the current programme and
recommended that such an evaluation should be carried out for future programmes
in accordance with the Financial Regulation[9] (Article 27) and its
Implementing Rules[10]
(Article 21).

To avoid the limitations of too detailed a programme in order to be
able to adapt to new or changing political priorities and developments, the ESP
2013-2017 is designed as a general planning instrument describing in a general
way the objectives to be met and actions to be undertaken, thus providing the
overall framework for the preparation of annual statistical work programmes
with detailed objectives and actions.

Developments in the ESS as well as the implementation of the
Communication on the production method of EU statistics require the European
statistical programme 2013-2017 to focus particularly on meeting future
challenges and balancing demands and resources. A strong ESS partnership is
crucial and more extensive consultation of stakeholders has therefore been
integrated into the roadmap for the preparation of this programme.

Drawing on past experience, mechanisms are being put in place to
ensure consistency in planning and reporting processes by better linking the
programme’s objectives with annual work programmes and improving the monitoring
and evaluation of programme implementation.

The recommendations of the mid-term evaluation of the CSP 2008-20125
have been taken into account when drafting the objectives and indicators of the
ESP 2013-2017. In particular, with regard to reprioritisation of statistical
requirements aiming at the reduction of response burden and producers’ costs, provision has been made for the implementation of the priority-setting
mechanism, as presented to the ESS Committee on 18 November 2010[11].

Finally, the ex-ante evaluation was prepared
in accordance with the Financial Regulation[12]
(Article 27) and its Implementing Rules[13]
(Article 21).

1.5.4      Coherence and possible
synergy with other relevant instruments

Along with the current CSP 2008-2012, another multiannual programme,
namely the Programme for the Modernisation of European Enterprise and Trade
Statistics (MEETS), is being implemented from 2009 to 2013. In order to manage
the programmes more efficiently, Eurostat decided to have one multiannual
programme in future instead of two. This means that the objectives in the area
of enterprise and trade statistics beyond 2013 and actions related to the
modernisation of social statistics are part of the ESP 2013-2017.

In addition, Eurostat has a coordinating role in the area of
production of European statistics in line with Commission Decision 2012/504/EU
of 17 September 2012. Commission Directorates-General and other services
involve Eurostat at an early stage in the development of their programmes
related to statistics.

1.6         Duration and financial
impact

þ Proposal/initiative
of limited duration

– 
þ Proposal/initiative
in effect from [01/01] 2014 to [31/12] 2017

– 
þ Financial impact
from 2014 to 2017 for commitment appropriations and from 2014 to 2021 for
payment appropriations.

 ̈ Proposal/initiative of unlimited
duration

– 
Implementation with a start-up period from YYYY
to YYYY,

– 
followed by full-scale operation.

1.7         Management mode(s)
envisaged[14]

þ Centralised direct management by the Commission

 ̈ Centralised indirect management with the delegation of implementation tasks to:

– 
 ̈  executive agencies

– 
 ̈  bodies set up by the Communities[15]

– 
 ̈  national public-sector bodies/bodies with public-service mission

– 
 ̈  persons entrusted with the implementation of specific actions
pursuant to Title V of the Treaty on European Union and identified in the
relevant basic act within the meaning of Article 49 of the Financial Regulation

 ̈ Shared management with the Member States

 ̈ Decentralised management with third countries

 ̈ Joint management with international organisations, in particular with the OECD, the
United Nations and the World Bank.

If more than one
management mode is indicated, please provide details in the ‘Comments’ section.

2            MANAGEMENT MEASURES

2.1         Monitoring and
reporting rules

Specify frequency
and conditions.

The ex-ante evaluation of the ESP 2013-17 was carried out on the
basis of the provisions of the Financial Regulation for expenditure programmes
between October 2010 and April 2011 by the Strategic Planning unit of Eurostat
with the help of the Financial and Legal Affairs units. It was discussed with
the internal Eurostat Task Force for the preparation of the ESP 2013-17
composed of representatives at Head of Unit level from all the Directorates of
Eurostat and then approved at the Eurostat Directors’ meeting on 12 April 2011.

The key findings of the ex-ante evaluation were incorporated into
the Legislative Financial Statement. Lessons learnt from past experience that
were taken into account when establishing the ESP are presented in the
Legislative Financial Statement, Part 1.5.3 ‘Lessons learned from similar
experiences in the past’. The objectives of the ESP are presented in the
proposal itself.

Article 2 of the proposal stipulates that the ESP will be subject to
annual planning through the Commission’s annual statistical work programmes in
line with Regulation (EC) No 223/2009. These programmes and their corresponding
financing will be the subject of Commission decisions detailing the outputs and
results (objectives and indicators) to be achieved during the reference period.
Monitoring will be ensured through regular reports on the consumption of
resources and on progress made in the achievement of objectives.

With regard to reporting it is expected that, in line with the
Regulation on European statistics, an interim progress report will be prepared
and, after the ESS Committee has been consulted, submitted to the European
Parliament and the Council no later than June 2015.

At the end of the period covered by the programme, the ESP will be
subject to an ex-post evaluation. The ESS Committee will be consulted on the
evaluation report, which will be submitted to the European Parliament and the
Council by the end of 2018.

2.2         Management and control
system

2.2.1      Risk(s) identified

The management mode of the proposed programme is central direct
management by the Commission and to a limited extent joint management with international
organisations. From a financial point of view the programme will be implemented
by awarding contracts, in particular to firms specialised in statistics or
informatics services, and by grants financing provided mainly to national statistical
authorities. Regulation (EC) No 223/2009 on European Statistics allows for direct
awards of grants to those authorities.

The main risks identified for the implementation of the programme come
mainly from the management of grant procedures. As is apparent from the
implementation of the Community Statistical Programme 2008-2012, some
beneficiaries experienced difficulties in submitting the required documentation
to determine the eligibility of costs incurred.

2.2.2      Control method(s)
envisaged

The main elements of the internal control system are: Ex-ante
verification of each financial transaction’s operational and financial
aspects (legality, regularity and sound financial management) according to
Article 49(3) of the Implementing Rules of the Financial Regulation. Ex-ante
controls cover the whole expenditure life cycle, from planning and programming
to commitments and payments. To this end, for each financial transaction,
controls following specific checklists have to be used by each actor in the
financial circuits.

Not only financial circuits, but also appropriate supervision,
financial and performance-based reporting, audit and evaluation contribute to
implementation of the programme’s budget in accordance with the principles of
sound financial management and for ensuring that the requirements of legality
and regularity are complied with. Complementarity will be ensured between the
aforementioned sources of assurance, to avoid duplication of effort and allow
for cost-efficiency of controls.

Against the background of the comprehensive and compulsory controls
applied to each financial transaction that will be authorised under the
programme, the following additional control actions will be applied to the
management of grant procedures. In addition to ex-ante controls described above
and based on an annual risk analysis, reinforced ex-ante and ex-post
verification will be performed. Reinforced ex-ante verifications will be
carried out on a sample basis, i.e. in-depth controls of additional supporting
documentation before final payments for co-financed grant actions. Furthermore,
and based on experience gained since 2005, ex-post controls will be
carried out in order to check that operations financed by the budget are
correctly implemented and in particular that the criteria set out for the
ex-ante verification are complied with. Specific emphasis will be put on reducing
administrative complexity and therefore the likelihood of errors linked to the
management of grants. This will be achieved in particular by focusing on bigger
projects (and limitation of small grants), requirements of specific audit
certificates, and last but not least by the introduction of alternative options
to payments based on actual costs, i.e. grants based on flat rates and scales
of unit costs.

Costs and benefits of controls: The
programme control strategy is deemed to limit the risk of non-compliance to
under 2 %, which is in line with the assessment carried out under the
Annual Activity Report 2010. Given that the internal control objective for the
new programme is not to exceed an average residual error rate of 2 % for
the whole programming period from 2013 to 2017, the internal control system as
well as its costs is deemed adequate to achieve this objective. DG ESTAT
considers that the costs of additional reinforced ex-ante and ex-post controls
referred to above remain at around 1 % of the programme budget, about the
same ratio as in the previous programme. In terms of nature and intensity of
controls, 100 % of financial transactions (and thus 100 % of the
budget) will be subject to obligatory ex-ante controls in accordance with the
Financial Regulation. As outlined above, controls based on in-depth analysis of
underlying documentation will be undertaken following an annual risk analysis.
They may cover 4-6 % of the budget.

2.3         Measures to prevent
fraud and irregularities

Specify existing or
envisaged prevention and protection measures.

In addition to the application of all regulatory control mechanisms,
an anti-fraud strategy in line with the Commission’s new anti-fraud strategy
(CAFS) adopted on 24 June 2011 will be devised in order to ensure inter alia
that internal anti-fraud related controls are fully aligned with the CAFS and
that the fraud management risk approach is geared to identifying fraud risk
areas and adequate responses. Where necessary, networking groups and adequate
IT tools dedicated to analysing fraud cases related to the European Statistical
Programme will be set up.

Eurostat has defined a 2013-17 control strategy accompanying the
implementation of the ESP. Reducing complexity, applying cost-effective
monitoring procedures as well as conducting risk-based ex-ante and ex-post
controls will aim to reduce the likelihood and contribute to the prevention of
fraud. Specific awareness-raising measures and relevant training with regard to
fraud prevention are part of the control strategy.

3            ESTIMATED FINANCIAL
IMPACT OF THE PROPOSAL/INITIATIVE

3.1         Heading(s) of the
multiannual financial framework and expenditure budget line(s) affected

· Existing expenditure budget lines

In order of
multiannual financial framework headings and budget lines.

Heading of multiannual financial framework || Budget line || Type of expenditure || Contribution

Number [Description........................................] || Diff./non-diff. ([16]) || from EFTA[17] countries || from candidate countries[18] || from third countries || within the meaning of Article 18(1)(aa) of the Financial Regulation

|| [XX.YY.YY.YY] || Diff/non-diff. || YES/NO || YES/NO || YES/NO || YES/NO

· New budget lines requested

In order of multiannual financial framework
headings and budget lines.

Heading of multiannual financial framework || Budget line || Type of expenditure || Contribution

Number [Heading............................................] || Diff./non-diff. || from EFTA countries || from candidate countries || from third countries || within the meaning of Article 18(1)(aa) of the Financial Regulation

1 || 29.0201 European statistical programme 2013-2017 || Diff || YES/NO || YES/NO || YES/NO || YES/NO

1 || 29.0104 Statistical information policy — Expenditure on administrative management || Non-diff || YES/NO || YES/NO || YES/NO || YES/NO

3.2         Estimated impact on
expenditure

3.2.1      Summary of estimated
impact on expenditure

EUR million (to 3 decimal places)

Heading of multiannual financial framework: || Number || Heading 1 - Smart and Inclusive growth (as of 2014)

DG: ESTAT || || || Year 2014[19] || Year 2015 || Year 2016 || Year 2017 || Year 2018 and later || TOTAL

Ÿ Operational appropriations || || || || || ||

29.0201 || Commitments || (1) ||  53.391 || 54.922 || 56.443 || 57.960 || || 222.716

Payments || (2) || 32.360 || 33.613 || 46.450 || 52.843 || 92.839 || [20]258.105

Appropriations of an administrative nature financed  from the envelope for specific programmes[21] || || || || || ||

29.0104 || || (3) || 2.900 || 2.983 || 3.065 || 3.148 || || 12.096

TOTAL appropriations for DG ESTAT || Commitments || =1+1a +3 || 56.291 || 57.905 || 59.508 || 61.108 || || 234.812

Payments || =2+2a +3 || 35.260 || 36.596 || 49.515 || 55.991 || 92.839 || 270.201

Ÿ TOTAL operational appropriations || Commitments || (4) || 53.391 || 54.922 || 56.443 || 57.960 || || || || 222.716

Payments || (5) || 32.360 || 33.613 || 46.450 || 52.843 || 92.839 || || || 258.105

Ÿ TOTAL appropriations of an administrative nature financed from the envelope for specific programmes || (6) || 2.900 || 2.983 || 3.065 || 3.148 || || || || 12.096

TOTAL appropriations under HEADING 1 of the multiannual financial framework || Commitments || =4+ 6 || 56.291 || 57.905 || 59.508 || 61.108 || || || || 234.812

Payments || =5+ 6 || 35.260 || 36.596 || 49.515 || 55.991 || 92.839 || || || 270.201

Heading of multiannual financial framework: || 5 || " Administrative expenditure "

EUR million (to 3 decimal places)

|| || || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 and later || TOTAL

DG: ESTAT ||

Ÿ Human resources || 92.335 || 91.479 || 90.615 || 89.829 || || || || 364.258

Ÿ Other administrative expenditure || (1) 3.487 || (2) 3.487 || (3) 3.487 || (4) 3.487 || || || || 13.948

TOTAL DG ESTAT || Appropriations || 95.822 || 94.966 || 94.102 || 93.316 || || || || 378.206

TOTAL appropriations under HEADING 5 of the multiannual financial framework || (Total commitments = Total payments) || 95.822 || 94.966 || 94.102 || 93.316 || || || || 378.206

EUR million (to 3 decimal places)

|| || || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 and later 1.6) || TOTAL

TOTAL appropriations under HEADINGS 1 to 5 of the multiannual financial framework || Commitments || 152.113 || 152.871 || 153.610 || 154.424 || || || || 613.018

Payments || 131.082 || 131.562 || 143.617 || 149.307 || 92.839 || || || 648.407

3.2.2      Estimated impact on
operational appropriations

–          The
proposal/initiative does not require the use of operational appropriations

–          X         The
proposal/initiative requires the use of operational appropriations, as
explained below:

Commitment appropriations in EUR million (to 3 decimal
places)

|| || Year 2014 || Year 2015 || Year 2016 || Year 2017 || TOTAL

OUTPUTS

|| Indicate objectives and outputs || Type of output[22] || Average cost of the output || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Total number of outputs || Total cost ||

SPECIFIC OBJECTIVES No 1and 4[23] Provide quality statistical information to support the development, monitoring and evaluation of the policies of the European Union ||

|| - Output || Statistical projects || 0.304 || || || 85 || 23.694 || 67 || 21.480 || 62 || 21.204 || 58 || 22.129 || 272 || 88.507

|| Sub-total for specific objective No 1 || || || 85 || 23.694 || 67 || 21.480 || 62 || 21.204 || 58 || 22.129 || 272 || 88.507

|| SPECIFIC OBJECTIVE No 2 Implement the new method of production of European statistics ||

|| - Output || Statistical projects || 0.298 || || || 84 || 23.694 || 100 || 30.102 || 94 || 31.555 || 87 || 32.194 || 365 || 117.545

|| Sub-total for specific objective No 2 || || || 84 || 23.694 || 100 || 30.102 || 94 || 31.555 || 87 || 32.194 || 365 || 117.545

|| SPECIFIC OBJECTIVE No 3 Strengthen the partnership within the ESS and beyond ||

|| - Output || Statistical projects || 0.306 || || || 19 || 6.003 || 9 || 3.340 || 8 || 3.684 || 7 || 3.637 || 43 || 16.664

|| Sub-total for specific objective No 3 || || || 19 || 6.003 || 9 || 3.340 || 8 || 3.684 || 7 || 3.637 || 43 || 16.664

|| TOTAL COST || || || 188 || 53.391 || 176 || 54.922 || 164 || 56.443 || 152 || 57.960 || 680 || 222.716

3.2.3      Estimated impact on
appropriations of an administrative nature

3.2.3.1   Summary

– 
 ̈  The proposal/initiative does not require the use of administrative
appropriations

– 
X  The proposal/initiative requires the use of
administrative appropriations, as explained below:

EUR million (to 3
decimal places)

|| Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 and later || TOTAL

HEADING 5 of the multiannual financial framework || || || || || ||

Human resources || 92.335 || 91.479 || 90.615 || 89.829 || || 364.258

Other administrative expenditure || || || || || || 13.948

Subtotal HEADING 5 of the multiannual financial framework || 95.822 || 94.966 || 94.102 || 93.316 || || 378.206

Outside HEADING 5[24] of the multiannual financial framework || || || || || ||

Human resources || 2.285 || 2.285 || 2.285 || 2.285 || || 9.140

Other expenditure of an administrative nature (IT; meetings; studies; missions; subscriptions) || 0.615 || 0.698 || 0.780 || 0.863 || || 2.956

Subtotal outside HEADING 5 of the multiannual financial framework || (1) 2.900 || (2) 2.983 || (3) 3.065 || (4) 3.148 || || (5) 12.096

TOTAL || 98.722 || 97.949 || 97.167 || 96.464 || || 390.302

3.2.3.2   Estimated requirements of
human resources

– 
 ̈  The proposal/initiative does not require the use of human
resources

– 
X  The proposal/initiative requires the use of
human resources, as explained below:

Estimate to be expressed in full amounts
(or at most to one decimal place)

|| Year 2014 || Year 2015 || Year 2016 || Year 2017 ||

Ÿ Establishment plan posts (officials and temporary agents)

29 01 01 01 (Headquarters and Commission’s Representation Offices) || 651 || 645 || 639 || 633 || || ||

XX 01 01 02 (Delegations) || - || - || - || - || || ||

XX 01 05 01 (Indirect research) || - || - || - || - || || ||

10 01 05 01 (Direct research) || - || - || - || - || || ||

Ÿ External personnel (in Full Time Equivalent unit: FTE)[25]

29 01 02 01 (CA, INT, SNE from the ‘global envelope’) || 94 || 93 || 92 || 92 || || ||

XX 01 02 02 (CA, INT, JED, LA and SNE in the delegations) || - || - || - || - || || ||

XX 01 04 yy [26] || - at Headquarters[27] || || || || || || ||

- in delegations || || || || || || ||

XX 01 05 02 (CA, INT, SNE - Indirect research) || || || || || || ||

10 01 05 02 (CA, INT, SNE - Direct research) || || || || || || ||

Other budget lines (29 01 04 01) || 41 || 41 || 40 || 40 || || ||

TOTAL || 789 || 779 || 771 || 765 || || ||

29 is the
policy area or budget title concerned.

The human resources required
will be met by staff from the DG who are already assigned to management of the action
and/or have been redeployed within the DG, together if necessary with any
additional allocation which may be granted to the managing DG under the annual
allocation procedure and in the light of budgetary constraints.

Description of
tasks to be carried out:

Officials and temporary agents || The tasks to be performed concern mainly methodological work on the one hand and on the other hand the collection, validation, processing and dissemination of the statistical information related to the domains set out in Regulation XXX. They also refer to Eurostat’s two horizontal ABB activities (‘Administrative support for Eurostat’ and ‘Policy strategy and coordination of Eurostat’)

External personnel || Support the officials and temporary agents in performing the above-mentioned tasks

3.2.4      Compatibility with the
current multiannual financial framework

– 
X Proposal/initiative is compatible the
multiannual financial framework for 2014-2020.

– 
 ̈  Proposal/initiative will entail reprogramming of the relevant
heading in the multiannual financial framework.

Explain what reprogramming is required, specifying
the budget lines concerned and the corresponding amounts.

– 
 ̈  Proposal/initiative requires application of the flexibility
instrument or revision of the multiannual financial framework[28].

Explain what is required, specifying the
headings and budget lines concerned and the corresponding amounts.

3.2.5      Third-party
contributions

– 
The proposal/initiative does not provide for
co-financing by third parties

– 
X The proposal/initiative provides for the
co-financing estimated below:

Appropriations in EUR million (to 3 decimal places)

|| Year 2014 || Year 2015 || Year 2016 || Year 2017 || || Total

Contribution of Switzerland || 4.851 || 4.948 || 5.047 || 5.147 || || || || 19.933

TOTAL appropriations co-financed || 4.851 || 4.948 || 5.047 || 5.147 || || || || 19.933

3.3         Estimated impact on
revenue

– 
X  Proposal/initiative has no financial impact
on revenue.

– 
 ̈  Proposal/initiative has the following financial impact:

– 
 ̈         on own resources

– 
 ̈         on miscellaneous revenue

EUR million (to 3 decimal places)

Budget revenue line: || Appropriations available for the ongoing budget year || Impact of the proposal/initiative[29]

Year N || Year N+1 || Year N+2 || Year N+3 || ... insert as many columns as necessary in order to reflect the duration of the impact (see point 1.6)

Article ............. || || || || || || || ||

For miscellaneous
assigned revenue, specify the budget expenditure line(s) affected.

Specify the method for
calculating the impact on revenue.

[1]               OJ L 39, 9.2.2009, p. 12.

[2]               ABM: Activity-Based Management – ABB: Activity-Based
Budgeting.

[3]               As referred to in Article 49(6)(a) or (b) of the
Financial Regulation.

[4]               OJ L 87, 31.3.2009, p. 164.

[5]               Decision No 1578/2007/EC, OJ L 344, 28.12.2007, p.
15.

[6]               The Partnership Group is a group of Directors General
of the National Statistical Institutes of the ESS whose mission is to further
the development of the ESS through, mainly, facilitating the work of the ESS
Committee.

[7]               COM(2009) 1 final.

[8]               Internal Audit Capacity’s Audit Report
ESTAT-2009-ESTAT-002, 19.2.2010.

[9]               Consolidated version of Council Regulation No
1605/2002 of 25 June 2002 on the Financial Regulation applicable to the general
budget of the European Communities.

[10]             Consolidated version of Commission Regulation No
2342/2002 of 23 December 2002 laying down detailed rules for the implementation
of Council Regulation No 1605/2002 on the Financial Regulation applicable to
the general budget of the European Communities.

[11]             Presented at the ESS Committee meeting on 18 November
2010 (Doc. No 2010/07/08b).

[12]             Consolidated version of Council Regulation No 1605/2002
of 25 June 2002 on the Financial Regulation applicable to the general budget of
the European Communities.

[13]             Consolidated version of Commission Regulation No
2342/2002 of 23 December 2002 laying down detailed rules for the implementation
of Council Regulation No 1605/2002 on the Financial Regulation applicable to the
general budget of the European Communities.

[14]             Details of management modes and references to the
Financial Regulation may be found on the BudgWeb site: http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html.

[15]             As referred to in Article 185 of the Financial
Regulation.

[16]             Diff. = Differentiated appropriations / Non-diff. =
Non-Differentiated Appropriations

[17]             EFTA: European Free Trade Association.

[18]             Candidate countries and, where applicable, potential
candidate countries from the Western Balkans.

[19]             Year N is the year in which implementation of the
proposal/initiative starts.

[20]             The payments appropriations are considering obligations
stemming since the beginning of the European Statistical Programme in 2013

[21]             Technical and/or administrative assistance and
expenditure in support of the implementation of EU programmes and/or actions
(former "BA" lines), indirect research, direct research.

[22]             Outputs are products and services to be supplied (e.g.
number of student exchanges financed, number of km of roads built).

[23]             As described in Section 1.4.2. ‘Specific objective(s) ...’.

[24]             Technical and/or administrative assistance and
expenditure in support of the implementation of EU programmes and/or actions (former
‘BA’ lines), indirect research, direct research.

[25]             CA= Contract Agent; INT= agency staff (‘Intérimaire’);
JED= ‘Jeune Expert en Délégation’ (Young Experts in Delegations); LA=
Local Agent; SNE= Seconded National Expert; .

[26]             Under
the ceiling for external personnel from operational
appropriations (former ‘BA’ lines).

[27]             Essentially for Structural Funds, European Agricultural
Fund for Rural Development (EAFRD) and European Fisheries Fund (EFF).

[28]             See points 19 and 24 of the Interinstitutional
Agreement.

[29]             As regards traditional own resources (customs duties,
sugar levies), the amounts indicated must be net amounts, i.e. gross amounts
after deduction of 25 % for collection costs.